Securities Law Research Guide

Introductions and Research Guides

• Federal Regulatory Directory (Congressional Quarterly, 1997) pp.250-271

• Findlaw Securities Law Outline  

• Introduction to the Securities Laws by Mark J. Astanita

• NYU EDGAR sponsored by the Stern Business School

• "Securities Regulation," by K. Todd in Specialized Legal Research, L. Chanin, ed.   (Little,Brown) pp. 1.1- 1.27

• The U.S. Securities and Exchange Commission: A Research and Information Guide, by J. W. Graham (Garland, 1993)

• United States Securities and Exchange Commission  

Statutory Authority (selected)

• Securities Act of 1933 (48 Stat. 74, 15 U.S.C. 77a-77mm)

• Securities Exchange Act of 1934 (48 Stat. 881, 15 U.S.C. 78a-78kk)

• Investment Advisors Act of 1940 (54 Stat. 847, 15 U.S.C. 80b-1 - 80b-2)

• Investment Company Act of 1940 (54 Stat. 789, 15 U.S.C. 80a-1 - 80a-64)

• Insider Trading Sanctions Act of 1984 (98 Stat. 1264, 15 U.S.C. 78a note)

• Securities Enforcement Remedies & Penny Stock Reform Act of 1990 (104 Stat. 931, 15 U.S.C. 78a)

Legislative History Sources

• Congressional Information Services (CIS) -- reports and hearings

• Federal Securities Laws: Legislative History, 1933-1982

• Legislative History of the Securities Act of 1933 and Securities Exchange Act of 1934 by J. Ellenberger and E. Mahar

• LEXIS -- FEDSEC library, LEGIS file --  reports only

• United States Code Congressional and Administrative News -- reports only

• WESTLAW -- FSEC-LH & INSIDER-LH

Government Publications: Primary Sources

• Decisions and Reports, Securities and Exchange Commission (1934--)

• EDGAR (Electronic Data Gathering, Analysis & Retrieval system) filings

• Index to Commission Decisions

• Securities and Exchange Commission Annual Report to Congress

• Code of Federal Regulations, Title 17 (updated annually) (LEXIS : FEDSEC;CFR ; WESTLAW : FSEC-CFR)

• Federal Register  (updates CFR) (LEXIS : FEDSEC; FEDREG ; WESTLAW : FSEC-FR)    

• SEC Docket (LEXIS : FEDSEC; SECREL )

• SEC News Digest  

• United States Code

EDGAR Filings

• LEXIS : FEDSEC;EDGARP

• NYU EDGAR

• SEC's EDGAR homepage  

• WESTLAW: EDGAR

SEC Rules

• FSEC-RULES in WESTLAW  

• SEC's Rulemaking homepage

• University of Cincinnati's Center for Corporate Law 1933 Act Rules

• University of Cincinnati's Center for Corporate Law 1934 Act Rules

SEC Forms

• NYU EDGAR's SEC Guide to Forms    

• University of Cincinnati's Center for Corporate Law 1933 Act Forms

• University of Cincinnati's Center for Corporate Law 1934 Act Forms

Looseleaf Publications

• American Stock Exchange Company Guide (American Stock Exchange)

• Blue Sky Reporter (CCH)

• Corporate Practice Series (Bureau of National Affairs)

• Federal Securities Law Reporter (CCH)

• NASD Manual (CCH) (in LEXIS -- FEDSEC; NASD)

• New York Stock Exchange Guide (CCH)

• SEC Accounting and Reporting Manual (Warren, Gorham & Lamont)

• Securities Fraud and Commodities Fraud, Blomberg & Lowenfels, eds. (Shepard's McGraw-Hill)

• Securities Regulation (Prentice-Hall)

• Securities Regulation & Law Report (BNA) (LEXIS : FEDSEC; SECREG; WESTLAW :  BNA-SRLR)

• Takeovers and Freezeouts (Law Journal-Seminars Press)

• U. S. Regulation of the International Securities and Derivatives Markets (Aspen Law & Business) 

Treatises

• Blomberg & Lowenfels on Securities Fraud: Litigating Under Rule 10b-5 by A. Blomberg & L. Lowenfels

• Business Organizations, Volumes 11, 11A

• Federal Securities Code (American Law Institute)

• Fundamentals of Securities Regulation by L. Loss (LEXIS : FEDSEC; LOSS)

• Key SEC No-Action Letters by R. Haft

• Painter on Close Corporations: Corporate, Securities and Tax Aspects by W. Painter

• Securities: Public and Private Offerings by W. Prifiti

• Securities Regulation in a Nutshell by D. Ratner

• Securities Regulation by T. Hazen (hornbook)

• SEC Regulation of Public Companies by A. Afterman

Journals and Institutes

• Annual Institute on Securities Regulation (PLI)

• Business Lawyer (ABA) (WESTLAW: BUSLAW, 1984-   ; LEXIS: NEWS, ASAPII, 1992-   )

• Fordham Corporate Law Institute (Standard & Poor's)

• Review of Securities and Commodities Regulation

• Securities and Federal Corporate Law Report (Clark Boardman)

• Securities Enforcement Institute (PLI)

• WESTLAW: SEC-TP (Securities and Blue Sky Texts and Periodicals) (date coverage varies)

Internet Sources

• American Stock Exchange  official website

• Blue Sky Law  Collection of regulation and research information from the University of Maryland Thurgood Marshall Law Library

• Center for Corporate Law Comprehensive site from the University of Cincinnati School of Law

• Forbes Reference Pages Includes Forbes 500 Companies information, Guide to Mutual Funds, etc.

• NASDAQ official website

• New York Stock Exchange  official website

• NYU Stern Business School's EDGAR Project

• Ohio State University's Virtual Finance Library  Comprehensive website sponsored by Ohio State University's Department of Finance, includes Journal of Finance webpage

• Resources for Economists on the Internet   A Washington University sponsored comprehensive website, breaks down into topics including Finance & Financial Markets, Economic Consulting & Forecasting Services, Working Papers

• Securities Class Action Clearinghouse   A Stanford Law School sponsored clearinghouse of complaints, motions, and decisions in major securities fraud class actions

• Securities Exchange Commission  official website

Indices

• Business A.R.T.S. (WESTLAW: BUS-ARTS, 1976-  )

• Economic Literature Index (WESTLAW : ECONLIT)

• Index to Legal Periodicals (LEXIS : LAWREV; ILP, 1981- ;WESTLAW: ILP, 1981- )

• Legal Resources Index  (LEXIS: LAWREV, LGLIND, 1981 - WESTLAW: LRI,

Directories

• Federal Regulatory Directory (Congressional Quarterly, 1997)

• Federal Yellow Book (Washington Monitor, published quarterly)

• LEXIS : FEDSEC; MHSEC (Martindale-Hubbell Securities listings)

• United States Government Manual (GPO, annual)

• WESTLAW : WLDSEC (West's Legal Directory -- Securities)

Prepared by Gretchen Feltes, Preservation/Reference Librarian, New York University Law Library.